DISASTER PREPAREDNESS AND RECOVERY

2

RECORDS DISASTER

• A Records Disaster is “a sudden and

unexpected event which results in loss of

records or information essential to a local

governments continued operation”.

3

KATRINA

• MADE US RE-ACCESS RECORDS

PROTECTION

• FEMA AND OTHER EMERGENCY

MANAGEMENT OFFICIALS

• NO COMMUNICATION BETWEEN

RECORDS AGENCY AND EMS

• NATION-WIDE DISASTER PLAN FOR

RECORDS

4

RECORDS DISASTER PLANNING

• Consequences of not being prepared can be

significant and expensive.

• 107 Courthouse Disasters

– Fire and Floods

– Loss of Records in Most Cases

– Records cannot be replaced

• Most recent disaster

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

WHY ARE RECORDS IMPORTANT?

• PROTECTS AND DOCUMENTS LEGAL RIGHTS OR INTERESTS OF COUNTY GOVERNMENT AGENCIES.

• PROTECTS AND DOCUMENTS THE RIGHTS OR OBLIGATIONS OF CITIZENS.

• NEEDED TO CONDUCT EMERGENCY OPERATIONS

• NEEDED TO RESUME OPERATIONS

21

EFFECTS OF A RECORDS DISASTER

• LOSS OF CONTINUITY OF BUSINESS

• LOSS OF REVENUE

• LOSS OF SERVICES TO THE PUBLIC

• LOSS OF HISTORY

22

CONTINUITY OF BUSINESS

• HOW DO WE START OVER?

• DO WE KNOW WHAT IS OWED TO US?

• CAN WE PROVIDE SERVICES?

23

PUBLIC OFFICES

• COUNTY CLERK’S RECORDS

• SHERIFF’S RECORDS

• PVA’S RECORDS

• FISCAL COURT RECORDS

• MUNICIPAL RECORDS

• SCHOOL RECORDS

• PUBLIC WORKS

24

COUNTY CLERK’S OFFICE

• VAULT

• VERY FEW TRUE VAULTS

• RECORDS

• LAND RECORDS

• MARRIAGE RECORDS

• PROBATE RECORDS

• PLATS

25

RECORDS DISASTER PLAN

• PREPARING A PLAN

• CONDUCT A RISK ANALYSIS

• IDENTIFY EXISTING PROCEDURES

• IDENTIFY NEEDED PROCEDURES

• ALLOCATE RESPONSIBILITIES

• DEVELOP RESPONSE AND RECOVERY PROCEDURES

• INCLUDE FIRST RESPONDERS

26

A PRACTICAL PLAN

• PREPAREDNESS

– PREVENTION/PROTECTION

• VITAL RECORDS IDENTIFICATION AND

PROTECTION

• RECOVERY PROCEDURES

27

DISASTER PREPAREDNESS

• DETERMINE EXISTING RISKS TO RECORDS

• COMPLETE A SITE SURVEY – INSIDE AND OUT

• IS SECURITY SUFFICIENT?

• DETERMINE VULNERABLE AREAS

• MITIGATE RISKS – DO SOMETHING BEFORE IT HITS

28

DISASTER PREPAREDNESS

• KNOW THE STRUCTURAL BREAKDOWN

HISTORY OF STRUCTURES

• PAST PROBLEMS AND REPAIRS

• START WITH THE ROOF AND WORK DOWN

• LOOK CLOSELY AT RECORDS STORAGE

AREAS

29

DISASTER PREPAREDNES

• WATER SUPPLY CONTROLS?

• ELECTRICITY CONTROLS?

• COMPUTER SERVERS/INSTALLATION?

30

DISASTER PREPAREDNESS

• LIST OF RECOVERY VENDORS

• INSURANCE COVERAGE?

– REPLACEMENT INSURANCE

– RECOVERY INSURANCE

31

DISASTER PREPAREDNESS

• EMERGENCY NUMBERS

– FIRE

– POLICE

– EMS

• CERTAIN EQUIPMENT AT HAND

– FLASHLIGHTS ETC

• DESIGNATE A PERSON TO BE IN

CHARGE

• FORM A RESPONSE TEAM

32

VITAL RECORDS

33

WHAT MAKES A RECORD VITAL?

• VITAL RECORDS CONTAIN INFO THAT IS

ESSENTIAL TO:

– OPERATE DURING A DISASTER

– RESUME AND CONTINUE BUSINESS

– RE-ESTABLISH THE LEGAL, FINANCIAL AND/OR

FUNCTIONAL STATUS OF THE COUNTY

34

EMERGENCY OPERATING RECORDS

• EXAMPLES– DISASTER PLAN

– DELEGATIONS OF AUTHORITY

– BUILDING PLANS

– COMPUTER SYSTEM DOCUMENTATION

– VITAL RECORDS INVENTORIES

– RECORDS INVENTORIES

– RECORDS LOCATIONS

– EQUIPMENT INVENTORIES

35

LEGAL AND FINANCIAL RIGHTS RECORDS

• RECORDS NEEDED TO RE-CREATE

LEGAL/FINANCIAL OPERATIONS

• RECORDS NEEDED TO SAFEGUARD THE

INTERESTS OF THE COUNTY,

EMPLOYEES AND THE PUBLIC

36

EXAMPLES

• ACCOUNTS RECEIVABLE

• PAYROLL, SOCIAL SECURITY AND RETIREMENT

• DEEDS, LEASES, CONTRACTS, INSURANCE, LICENSES

• LICENSING AND COMPLIANCE-UNIQUE LEGAL RECORDS

• OBLIGATIONS

37

VITAL RECORDS

• MAKE A LIST OF ALL VITAL RECORDS

• LOCATION OF VITAL RECORDS

• STORE THE LIST OFF SITE

• GIVE THE LIST TO THE APPROPRIATE PEOPLE

• SECURE THESE RECORDS– ELECTRONIC OFF SITE

– PAPER DISPERSAL

38

VITAL RECORDS PROTECTION

• SECURITY MICROFILM

• BACKUP ELECTRONIC/DIGITAL RECORDS

• OFFSITE STORAGE

• DUPLICATION

• DISPERSAL

• HOW YOU PROTECT VITAL RECORDS SHOULD

BE DONE THE SAME WAY ALL THE TIME AND

THE WAY YOU DO IT MUST BE DOCUMENTED.

39

STATE ARCHIVES CAN HELP!

• WRITE A DISASTER PREPAREDNESS AND

RECOVERY PLAN

• WRITE A VITAL RECORDS PROTECTION PLAN

• WORK WITH EMS AND FIRST RESPONDERS

• MORE TRAINING

40

CONTACT INFORMATION

KENTUCKY DEPARTMENT FOR

LIBRARIES AND ARCHIVES

Trace Kirkwood

Phone: 270-991-5195

trace.kirkwood@ky.gov

www.kdla.ky.gov